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November 16, 2018
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Blog, Current Investigations
Update on Richard Cody – Broker Investigation According to reports, former financial advisor Richard Cody pled guilty today to criminal charges filed by the U.S. Attorney for the District of Massachusetts. As we previously told you, the SEC filed charges against Cody in December 2016, alleging that Cody defrauded at
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November 15, 2018
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Blog, Current Investigations
Charles Laverty – Broker Investigation According to the Financial Industry Regulatory Authority (FINRA), financial advisor Charles Laverty (CRD No. 4875386) has reportedly been barred from associating with any FINRA member at any time. According to FINRA’s findings, Laverty allegedly borrowed $1.35 million
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November 15, 2018
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Blog, Current Investigations
Securities Investigation – Waveland Energy Partners LLC Are you concerned about your investment in Waveland Energy Partners LLC? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. Waveland
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November 14, 2018
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Blog, Current Investigations, Securities Fraud
Financial Advisor Kyle Harrington –San Diego, CA Are you concerned about investments you made with former financial advisor Kyle Harrington? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses. According to the Financial Industry Authority (FINRA), the regulator has
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November 13, 2018
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Current Investigations
Commonwealth Financial Returns $900,000 to investors According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has sanctioned Commonwealth Financial Network for overcharging retirement plan investors via mutual fund share classes. According to a Letter of Acceptance, Waiver and
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November 13, 2018
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Blog, Current Investigations
Third Party Offers to Tender Shares of Corporate Property Associates 18 – Global Inc. The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended Corporate Property Associates 18 – Global Inc. to investors. Corporate Property Associates 18 – Global Inc. is a
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November 7, 2018
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Blog, Current Investigations
Investors in FSIC II may have claims. The White Law Group continues its investigation involving broker dealers who may have improperly recommended FS Investment Corporation II (FSIC II) to investors. If you are concerned about your investment in FSIC II, the securities attorneys at The White Law Group may be able to
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November 6, 2018
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Blog, Current Investigations, Securities Fraud
Ronald Klebba – Cease & Desist Order Have you suffered losses investing with Ronald Klebba? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. According to the Florida Department of Financial Services on October 17, 2017, a cease &
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November 6, 2018
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Blog, Current Investigations, Securities Fraud
Financial Advisor David Colflesh – NYLife Securities – Tarkio, MO According to the Financial Industry Regulatory Authority (FINRA) on October 26, 2018, the regulator has suspended NYLife Securities financial advisor David Colflesh from associating with any FINRA member for 18 months. From October 2014 to July
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November 5, 2018
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Blog, Current Investigations
Investors in Carter Validus Mission Critical REIT may have claims According to its website, Mackenzie Realty Capital has just extended a tender offer to purchase shares of Carter Validus Mission Critical REIT for just $3.09/share. Carter Validus Mission Critical REIT, a publicly registered, non-traded REIT, recently
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